Tag: FINRA fines
FINRA Fines Surge 43% in 2020
FINRA sees 43% increase in fines, yet disciplinary actions were only up 1% in 2020. The Financial Industry Regulatory Authority Inc....
FINRA Fines Four Big Brokers $4.75 Million
Financial Industry Regulatory Authority’s claims that they failed to have adequate risk controls Deutsche Bank Securities Inc., Citigroup...
FINRA Cracks Down on Eight Firms for Failure to Supervise
The Financial Industry Regulatory Authority Inc. has fined eight firms a total of $6.2 million and ordered five of them to pay another $6.3...